SEC.gov | Rulemaking Activity

This index of the SEC’s rulemaking activity can be filtered by year, status (proposed or final), or division/office that recommended the rulemaking to the Commission.

Under the Regulatory Flexibility Act, the SEC is required to publish an agenda identifying rules that the agency estimates it may consider in upcoming months. View the latest SEC Reg Flex agenda.

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Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
July 21, 2010	S7-15-10	Mutual Fund Distribution Fees; Confirmations Investment Management	Proposed Rule Mutual Fund Distribution Fees; Confirmations 33-9128, 34-62544, IC-29367
July 16, 2010		Technical Amendment to Rules of Organization; Conduct and Ethics; and Information and Requests	Final Rule Technical Amendment to Rules of Organization; Conduct and Ethics; and Information and Requests 34-62520
July 14, 2010	S7-14-10	Concept Release on the U.S. Proxy System Corporation Finance	Concept Release Concept Release on the U.S. Proxy System 34-62495, IA-3052, IC-29340
July 14, 2010		Adoption of Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission and Revisions to the Commission's Ethics Rules	Final Rule Adoption of Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission and Revisions to the Commission's Ethics Rules 34-62501
July 2, 2010	S7-21-09	Elimination of Flash Order Exception From Rule 602 of Regulation NMS Trading and Markets	Proposed Rule Elimination of Flash Order Exception From Rule 602 of Regulation NMS 34-62445 View Related Activity
July 1, 2010	S7-18-09	Political Contributions by Certain Investment Advisers Investment Management	Final Rule Political Contributions by Certain Investment Advisers IA-3043 View Related Activity
June 16, 2010	S7-12-10	Investment Company Advertising: Target Date Retirement Fund Names and Marketing Investment Management	Proposed Rule Investment Company Advertising: Target Date Retirement Fund Names and Marketing 33-9126, 34-62300, IC-29301, 33-9570 View Related Activity
May 27, 2010	S7-15-09	Amendment to Municipal Securities Disclosure Trading and Markets	Final Rule Amendment to Municipal Securities Disclosure 34-62184A View Related Activity
May 26, 2010	S7-11-10	Consolidated Audit Trail Trading and Markets	Proposed Rule Consolidated Audit Trail 34-62174 View Related Activity
April 14, 2010	S7-10-10	Large Trader Reporting Trading and Markets	Proposed Rule Large Trader Reporting System 34-61908 View Related Activity
April 14, 2010	S7-09-10	Proposed Amendments to Rule 610 of Regulation NMS Trading and Markets	Proposed Rule Proposed Amendments to Rule 610 of Regulation NMS 34-61902
April 7, 2010	S7-08-10	Asset-Backed Securities Disclosure and Registration Corporation Finance	Proposed Rule Asset-Backed Securities 33-9117, 34-61858 View Related Activity
April 1, 2010		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9115, 34-61821, 39-2469, IC-29199
Feb. 26, 2010	S7-08-09	Amendments to Regulation SHO Trading and Markets	Final Rule Amendments to Regulation SHO 34-61595 View Related Activity
Feb. 23, 2010	S7-13-09	Proxy Disclosure Enhancements Corporation Finance	Final Rule Proxy Disclosure Enhancements; Correction 33-9089A View Related Activity
Feb. 23, 2010	S7-11-09, S7-20-09	Money Market Fund Reform Investment Management	Final Rule Money Market Fund Reform IC-29132
Feb. 22, 2010	S7-22-09	Amendments to Rules Requiring Internet Availability of Proxy Materials Corporation Finance	Final Rule Amendments to Rules Requiring Internet Availability of Proxy Materials 33-9108, 34-61560, IC-29131 View Related Activity
Feb. 2, 2010		Commission Guidance Regarding Disclosure Related to Climate Change	Interpretive Release Commission Guidance Regarding Disclosure Related to Climate Change 33-9106, 34-61469, FR-82
Jan. 26, 2010	S7-04-10	Purchases of Certain Equity Securities by the Issuer and Others Trading and Markets	Proposed Rule Purchases of Certain Equity Securities by the Issuer and Others 34-61414
Jan. 19, 2010	S7-03-10	Risk Management Controls for Brokers or Dealers With Market Access Trading and Markets	Proposed Rule Risk Management Controls for Brokers or Dealers With Market Access 34-61379 View Related Activity
Jan. 14, 2010	S7-02-10	Concept Release on Equity Market Structure Trading and Markets	Concept Release Concept Release on Equity Market Structure 34-61358
Jan. 13, 2010		Delegations of Authority to the Director of Its Division of Enforcement	Final Rule Delegations of Authority to the Director of Its Division of Enforcement 34-61339
Jan. 12, 2010	S7-12-09	Shareholder Approval of Executive Compensation of TARP Recipients Corporation Finance	Final Rule Shareholder Approval of Executive Compensation of TARP Recipients 34-61335 View Related Activity
Dec. 31, 2009	S7-23-07	Principal Trades with Certain Advisory Clients	Final Rule Temporary Rule Regarding Principal Trades With Certain Advisory Clients IA-2965A View Related Activity
Dec. 30, 2009		Custody of Funds or Securities of Clients by Investment Advisers Investment Management	Interpretive Release Commission Guidance Regarding Independent Public Accountant Engagements Performed Pursuant to Rule 206(4)-2 Under the Investment Advisers Act of 1940 IA-2969, FR-81 View Related Activity
Dec. 30, 2009	S7-09-09	Custody of Funds or Securities of Clients by Investment Advisers Investment Management	Final Rule Custody of Funds or Securities of Clients by Investment Advisers IA-2968 View Related Activity
Dec. 23, 2009	S7-23-07	Principal Trades with Certain Advisory Clients	Final Rule Temporary Rule Regarding Principal Trades With Certain Advisory Clients IA-2965 View Related Activity
Dec. 18, 2009	S7-30-09	Revisions To Rule 163 Corporation Finance	Proposed Rule Revisions To Rule 163 33-9098
Dec. 16, 2009	S7-13-09	Proxy Disclosure Enhancements Corporation Finance	Final Rule Proxy Disclosure Enhancements 33-9089 View Related Activity
Dec. 15, 2009	S7-23-09	Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities Corporation Finance	Final Rule Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities 33-9087 View Related Activity
Dec. 14, 2009	S7-10-09	Facilitating Shareholder Director Nominations Corporation Finance	Proposed Rule Facilitating Shareholder Director Nominations 33-9086, 34-61161, IC-29069 View Related Activity
Nov. 23, 2009	S7-28-09	Proposed Rules for Nationally Recognized Statistical Rating Organizations Trading and Markets	Proposed Rule Proposed Rules for Nationally Recognized Statistical Rating Organizations 34-61051
Nov. 23, 2009	S7-04-09	Amendments to Rules for Nationally Recognized Statistical Rating Organizations Trading and Markets	Final Rule Amendments to Rules for Nationally Recognized Statistical Rating Organizations 34-61050 View Related Activity
Nov. 16, 2009	S7-09-07	Final Model Privacy Form Under the Gramm-Leach-Bliley Act	Final Rule Final Model Privacy Form Under the Gramm-Leach-Bliley Act 34-61003, IA-2950, IC-28997, 34-59769 View Related Activity
Nov. 13, 2009	S7-27-09	Regulation of Non-Public Trading Interest Trading and Markets	Proposed Rule Regulation of Non-Public Trading Interest 34-60997
Nov. 5, 2009	S7-29-04	Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date	Final Rule Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date 34-60946, IA-2946, IC-28990 View Related Activity
Oct. 26, 2009		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9077, 34-60875, 39-2468, IC-28984
Oct. 22, 2009	S7-25-09	Concept Release on Possible Rescission of Rule 436(g) Under The Securities Act of 1933 Corporation Finance	Concept Release Concept Release on Possible Rescission of Rule 436(g) Under the Securities Act of 1933 33-9071A View Related Activity
Oct. 22, 2009	S7-24-09	Credit Ratings Disclosure Investment Management, Corporation Finance	Proposed Rule Credit Ratings Disclosure 33-9070A, 34-60797A, IC-28942A View Related Activity
Oct. 19, 2009	S7-23-09	Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities Corporation Finance	Proposed Rule Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities 33-9074 View Related Activity

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